Welcome to our dedicated page for Morgan Stanley SEC filings (Ticker: MS), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Morgan Stanley filings document the company’s financial services business, capital structure, governance and material events. The record includes 8-K reports for current events, proxy materials for annual meeting and shareholder voting matters, and securities listings covering common stock, depositary preferred shares and medium-term notes associated with Morgan Stanley Finance LLC.
Filings also disclose governance procedures, registered security classes, NYSE listing information, preferred stock series, debt-security registration matters and formal status changes such as a Form 25 notice for removal of a listed note class from exchange registration.
Morgan Stanley Finance LLC is offering $2,000,000 of Dual Directional Buffered Participation Securities due May 20, 2027, linked to the S&P 500® Index and fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and pays no interest.
At maturity, if the index rises, holders receive principal plus 100% of the index gain, capped at a maximum payment of $1,153 per security (115.30% of principal). If the index is flat or down but not below 90% of the initial level, investors earn a positive “absolute return” up to about 10%. Below the 10% buffer, investors lose 1% of principal for each 1% additional decline, subject to a minimum payment of 10% of principal. The initial index level is 6,800.26 and the estimated value on the pricing date is $984.50 per security. The notes are unsecured, subject to Morgan Stanley’s credit risk, and will not be listed on any exchange.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk structured notes called Jump Securities with an auto-callable feature, linked to the worst performer of the EURO STOXX 50® Index and the Tokyo Stock Price Index. Each security has a $1,000 stated principal amount and is part of Morgan Stanley’s Series A Global Medium-Term Notes program.
The notes may be automatically redeemed on scheduled determination dates starting January 2027 if both indices are at or above their call thresholds, paying early redemption amounts that correspond to roughly 8.75%–9.50% per annum, such as $1,087.50–$1,095.00 on the first early redemption date. If not called and both indices stay at or above 75% of their initial levels at final maturity, investors receive a fixed payment of $1,437.50 to $1,475.00 per security.
If, however, on the final determination date either index finishes below its downside threshold, investors lose 1% of principal for each 1% decline in the worst-performing index, and the maturity payment can be significantly below principal, down to zero. The estimated value on the pricing date is expected to be about $949.70 per security, and the securities pay no periodic interest, are unsecured, not listed on any exchange, and are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering principal-at-risk structured notes linked to the Class A common stock of Alphabet Inc., fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and an original issue price of $1,000, with an estimated value on the pricing date of approximately $964.90.
Investors may receive a 10.00% per annum contingent coupon, paid only if Alphabet’s closing level on each observation date is at or above a coupon barrier set at no more than 72% of the initial level; missed coupons can be “remembered” and paid later if the barrier is met. The notes are automatically called at par plus due coupons if Alphabet is at or above 100% of the initial level on specified redemption determination dates, starting in March 2026.
If the notes are not called and Alphabet’s final level on December 19, 2029 is at or above the downside threshold (also at most 72% of the initial level), investors receive full principal plus any due coupon; if it is below, repayment is reduced 1% for each 1% decline, potentially to zero. All payments depend on Morgan Stanley’s credit, and the notes will not be listed on any exchange.
Morgan Stanley Finance LLC is offering $1,000-denomination Jump Notes with an auto-callable feature due January 12, 2029, fully and unconditionally guaranteed by Morgan Stanley and linked to the iShares iBoxx $ High Yield Corporate Bond ETF. The notes pay no interest and are unsecured obligations subject to Morgan Stanley’s credit risk.
The notes may be automatically redeemed if the ETF’s closing level is at or above the call threshold on a determination date, paying $1,070 per note on January 19, 2027 or $1,140 per note on January 13, 2028, corresponding to a return of approximately 7.00% per annum. If the notes are not called and the final ETF level on January 9, 2029 is at least the initial level, investors receive $1,210 per note; if it is below the initial level, they receive only the $1,000 principal. The estimated value on the pricing date is approximately $967.30 per note, the notes are not listed on any exchange, and secondary trading and liquidity may be limited.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing S&P 500-linked Buffered PLUS notes maturing on July 6, 2028, with an aggregate principal amount of $11,061,000. Each note has a $1,000 stated principal amount, pays no interest, and offers 200% leveraged upside on any S&P 500® Index gains, capped at a maximum payment of $1,219.20 per note (121.92% of principal).
Principal is at risk. A 10% buffer protects against moderate declines, but if the index falls by more than 10%, repayment is reduced in line with losses, with a minimum of $100 per note (10% of principal). The initial index value is 6,800.26, and investors bear Morgan Stanley’s credit risk.
The issue price is $1,000 per note, while the estimated value on the pricing date is $963.10, reflecting issuing, selling, structuring and hedging costs and an internal funding rate advantageous to the issuer. The notes are not listed, secondary liquidity may be limited, and the tax treatment is complex and uncertain.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk structured notes called Buffered Jump Securities with an auto-call feature linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index. Each security has a stated principal amount and issue price of $1,000, with an estimated value on the pricing date of about $907.50 per security.
The notes can be automatically redeemed quarterly from December 29, 2026 onward if the index is at or above the call threshold level, paying fixed cash amounts that correspond to an annualized return of roughly 17.10%. If held to the December 31, 2030 maturity and not called, investors receive $1,855 per security if the final index level is at or above the call threshold, the $1,000 principal back if the index finishes at or above an 85% buffer level, and a reduced amount if the index falls more than the 15% buffer, but not less than 15% of principal. The notes pay no interest, do not participate in index upside beyond the fixed schedule, are unsecured, not listed, and expose investors to both market risk of the index and the credit risk of Morgan Stanley.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering contingent income memory auto-callable securities due December 22, 2028 linked to the common stock of Citigroup Inc.
Each $1,000 security may pay a contingent coupon at an annual rate of 10.00%, but only if Citigroup’s closing level on an observation date is at or above a coupon barrier set at no more than 73.75% of the initial level; missed coupons can be paid later if the barrier is met. The notes are automatically redeemed, starting March 19, 2026, if the stock closes at or above 100% of the initial level on a redemption determination date, returning principal plus the applicable contingent coupon and any unpaid coupons.
If the notes are not called and the final stock level is at or above the downside threshold (at most 73.75% of the initial level), investors receive full principal back (plus any due coupons). If the final level is below the threshold, repayment is reduced in line with the stock’s decline and can fall to zero. The estimated value on the pricing date is approximately $969.90 per $1,000 security, reflecting structuring and distribution costs and an internal funding rate. The notes are unsecured, subject to Morgan Stanley’s credit risk, will not be listed on any exchange and may have limited secondary market liquidity.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Contingent Income Auto-Callable Securities due December 27, 2030 linked to the worst performer of the Nasdaq-100 Index®, Russell 2000® Index and S&P 500® Index.
Each security has a $1,000 stated principal amount and may pay a contingent coupon at 8.80% per year, but only if on each observation date all three indices are at or above 80% of their initial levels. The notes are automatically called, starting in December 2026, if on a redemption determination date all indices are at or above 100% of their initial levels, returning principal plus the applicable coupon.
If the notes are not called and, at maturity, any index is below 60% of its initial level, investors lose 1% of principal for each 1% decline in the worst performing index, up to a total loss. The notes are unsecured, subject to Morgan Stanley’s credit risk, will not be listed on an exchange, and have an estimated value on the pricing date of approximately $966.10 per $1,000 security, reflecting embedded costs and an internal funding rate.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk "Jump Securities" linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index, maturing on January 5, 2029. Each security has a $1,000 stated principal amount and may be automatically called starting January 4, 2027 if the index closes at or above 90% of its initial level, triggering fixed early redemption payments ranging from $1,195 to $1,487.50 per security. If held to maturity and not called, investors receive $1,585 per security if the index is at or above the 90% call threshold, only the $1,000 principal if the index is between 80% and 90% of its initial level, and a loss of 1% of principal for every 1% index decline below the 80% downside threshold, potentially losing the entire investment. The estimated value on the pricing date is about $896.80 per $1,000 security, reflecting embedded issuance, structuring and hedging costs and the issuer’s internal funding rate, and the notes pay no interest and are unsecured obligations subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk structured notes linked to the worst performer of the iShares Silver Trust (SLV) and the VanEck Gold Miners ETF (GDX). Each security has a $1,000 stated principal amount and may pay an annualized 11.00% contingent coupon, but only when both ETFs close at or above preset barrier levels on observation dates; missed coupons can be “remembered” and paid later if conditions are met.
The notes can be called early starting in December 2026 if both underliers are at or above 100% of their initial levels, in which case investors receive principal plus the applicable coupon and any unpaid coupons. If not called, and at maturity in December 2030 both ETFs are at or above 60% of their initial levels, investors receive full principal back (plus any due coupons). If either falls below its downside threshold, repayment is reduced 1% for each 1% decline in the worst performer, and the amount repaid can fall to zero.
The securities are unsecured obligations subject to Morgan Stanley’s credit risk. They will not be listed on an exchange, may trade below par, and have an initial estimated value of approximately $917 per $1,000 due to embedded costs and the issuer’s internal funding rate.